美国证券集团诉讼对我国证券诉讼制度的借鉴

发布时间：2018-05-13 05:13

本文选题：证券侵权 + 集团诉讼　；参考：《大连海事大学》2010年硕士论文

【摘要】： 证券市场的发展,不可避免的带来了证券侵权行为的产生。为了规制证券主体行为,救济证券侵权受害人,世界各国司法界进行了很多探索和实践。合理借鉴这些先进的经验将对我国证券诉讼制度的建立与完善起到极大的推动作用。美国的证券集团诉讼制度正是这些先进经验的典型代表。在本文中,笔者将从比较法的角度,研究美国证券集团诉讼中值得我国借鉴的先进之处,并据此提出对具体立法实践的建议。本文共分为四个部分。第一部分主要介绍证券诉讼的概念和特殊性,并通过对这些特点具体勾勒出证券诉讼的基本轮廓。第二部分从美国证券集团诉讼制度的历史沿革入手介绍美国证券集团诉讼的的发展和变革,并分别从原告、被告、法院和社会四个角度分析该制度的优势和劣势。其中优势是我们借鉴集团诉讼的原因所在,而劣势部分则是我们在制度设计时要注意规避的问题。第三部分是对我国当前解决证券侵权诉讼这类不确定人数诉讼的代表人诉讼制度的分析。其中重点对比了代表人诉讼制度与证券集团诉讼的异同,并由此揭示出证券集团诉讼对我国的借鉴意义。最后一部分提出对我国证券诉讼制度进行改革。其中首先分析了进行改革的合理性和可行性,而后根据前文中对证券诉讼的研究结果进一步提出改革证券诉讼制度的具体建议。
[Abstract]:The development of securities market inevitably brings about the occurrence of securities infringement. In order to regulate the behavior of securities subject and remedy the victims of securities infringement, the judicial circles in the world have carried out a lot of exploration and practice. Reasonable reference to these advanced experiences will greatly promote the establishment and perfection of China's securities litigation system. The securities class litigation system in the United States is a typical representative of these advanced experiences. In this paper, from the perspective of comparative law, the author will study the advantages of the securities group litigation in the United States, and put forward some suggestions on the specific legislative practice. This paper is divided into four parts. The first part mainly introduces the concept and particularity of securities litigation, and outlines the basic outline of securities litigation through these characteristics. The second part introduces the development and reform of American securities group litigation from the historical evolution of American securities class action system, and analyzes the advantages and disadvantages of the system from four angles of plaintiff, defendant, court and society. The advantage is the reason that we draw lessons from the class action, and the disadvantage part is that we should pay attention to the problem of circumvention when designing the system. The third part is the analysis of the representative litigation system of solving the securities tort litigation in China. This paper mainly compares the similarities and differences between the representative litigation system and the securities group action, and reveals the reference significance of the securities group action to our country. The last part proposes to reform the securities litigation system of our country. Firstly, it analyzes the rationality and feasibility of the reform, and then puts forward some concrete suggestions on the reform of the securities litigation system according to the results of the previous research on the securities litigation.
【学位授予单位】：大连海事大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D925.1;D971.2

【引证文献】